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1.The producer, the notifier and other undertakings involved in a shipment of waste and/or its recovery or disposal shall take the necessary steps to ensure that any waste they ship is managed without endangering human health and in an environmentally sound manner throughout the period of shipment and during its recovery and disposal. In particular, when the shipment takes place in the Community, the requirements of Article 4 of Directive 2006/12/EC and other Community legislation on waste shall be respected.
2.In the case of exports from the Community, the competent authority of dispatch in the Community shall:
(a)require and endeavour to secure that any waste exported is managed in an environmentally sound manner throughout the period of shipment, including recovery as referred to in Articles 36 and 38 or disposal as referred to in Article 34, in the third country of destination;
(b)prohibit an export of waste to third countries if it has reason to believe that the waste will not be managed in accordance with the requirements of point (a).
Environmentally sound management may, inter alia, be assumed as regards the waste recovery or disposal operation concerned, if the notifier or the competent authority in the country of destination can demonstrate that the facility which receives the waste will be operated in accordance with human health and environmental protection standards that are broadly equivalent to standards established in Community legislation.
This assumption shall, however, be without prejudice to the overall assessment of environmentally sound management throughout the period of shipment and including recovery or disposal in the third country of destination.
For the purposes of seeking guidance on environmentally sound management, the guidelines listed in Annex VIII may be considered.
3.In the case of imports into the Community, the competent authority of destination in the Community shall:
(a)require and take the necessary steps to ensure that any waste shipped into its area of jurisdiction is managed without endangering human health and without using processes or methods which could harm the environment, and in accordance with Article 4 of Directive 2006/12/EC and other Community legislation on waste throughout the period of shipment, including recovery or disposal in the country of destination;
(b)prohibit an import of waste from third countries if it has reason to believe that the waste will not be managed in accordance with the requirements of point (a).
1.Member States shall lay down the rules on penalties applicable for infringement of the provisions of this Regulation and shall take all measures necessary to ensure that they are implemented. The penalties provided for must be effective, proportionate and dissuasive. Member States shall notify the Commission of their national legislation relating to prevention and detection of illegal shipments and penalties for such shipments.
[F12. Member States shall, by way of measures for the enforcement of this Regulation, provide, inter alia, for inspections of establishments, undertakings, brokers and dealers in accordance with Article 34 of Directive 2008/98/EC, and for inspections of shipments of waste and of the related recovery or disposal.]
[F22a. By 1 January 2017 , Member States shall ensure that, in respect of their entire geographical territory, one or more plans are established, either separately or as a clearly defined part of other plans, for inspections carried out pursuant to paragraph 2 ( ‘ inspection plan ’ ). Inspection plans shall be based on a risk assessment covering specific waste streams and sources of illegal shipments and considering, if available and where appropriate, intelligence-based data such as data on investigations by police and customs authorities and analyses of criminal activities. That risk assessment shall aim, inter alia, to identify the minimum number of inspections required, including physical checks on establishments, undertakings, brokers, dealers and shipments of waste or on the related recovery or disposal. An inspection plan shall include the following elements:
(a) the objectives and priorities of the inspections, including a description of how those priorities have been identified;
(b) the geographical area covered by that inspection plan;
(c) information on planned inspections, including on physical checks;
(d) the tasks assigned to each authority involved in inspections;
(e) arrangements for cooperation between authorities involved in inspections;
(f) information on the training of inspectors on matters relating to inspections; and
(g) information on the human, financial and other resources for the implementation of that inspection plan.
An inspection plan shall be reviewed at least every three years and, where appropriate, updated. That review shall evaluate to which extent the objectives and other elements of that inspection plan have been implemented.]
[F13. Inspections of shipments may take place in particular:
(a) at the point of origin, carried out with the producer, holder or notifier;
(b) at the point of destination, including interim and non-interim recovery or disposal, carried out with the consignee or the facility;
(c) at the frontiers of the Union; and/or
(d) during the shipment within the Union.]
[F14. Inspections of shipments shall include the verification of documents, the confirmation of identity and, where appropriate, physical checking of the waste.]
[F24a. In order to ascertain that a substance or object being carried by road, rail, air, sea or inland waterway is not waste, the authorities involved in inspections may, without prejudice to Directive 2012/19/EU of the European Parliament and of the Council (1) , require the natural or legal person who is in possession of the substance or object concerned, or who arranges the carriage thereof, to submit documentary evidence:
(a) as to the origin and destination of the substance or object concerned; and
(b) that it is not waste, including, where appropriate, evidence of functionality.
For the purpose of the first subparagraph, the protection of the substance or object concerned against damage during transportation, loading and unloading, such as adequate packaging and appropriate stacking, shall also be ascertained.
4b. The authorities involved in inspections may conclude that the substance or object concerned is waste where:
the evidence referred to in paragraph 4a or required under other Union legislation to ascertain that a substance or object is not waste, has not been submitted within the period specified by them, or
they consider the evidence and information available to them to be insufficient to reach a conclusion, or they consider the protection provided against damage referred to in the second subparagraph of paragraph 4a to be insufficient.
In such circumstances, the carriage of the substance or object concerned or the shipment of waste concerned shall be considered as an illegal shipment. Consequently, it shall be dealt with in accordance with Articles 24 and 25 and the authorities involved in inspections shall, without delay, inform the competent authority of the country where the inspection concerned took place accordingly.
4c. In order to ascertain whether a shipment of waste complies with this Regulation, the authorities involved in inspections may require the notifier, the person who arranges the shipment, the holder, the carrier, the consignee and the facility that receives the waste to submit relevant documentary evidence to them within a period specified by them.
In order to ascertain whether a shipment of waste falling under the general information requirements of Article 18 is destined for recovery operations which are in accordance with Article 49, the authorities involved in inspections may require the person who arranges the shipment to submit relevant documentary evidence, provided by the interim and non-interim recovery facility and, if necessary, approved by the competent authority of destination.
4d. Where the evidence referred to in paragraph 4c has not been submitted to the authorities involved in inspections within the period specified by them, or they consider the evidence and information available to them to be insufficient to reach a conclusion, the shipment concerned shall be considered as an illegal shipment. Consequently, it shall be dealt with in accordance with Articles 24 and 25 and the authorities involved in inspections shall, without delay, inform the competent authority of the country where the inspection concerned took place accordingly.
4e. By 18 July 2015 , the Commission shall adopt, by means of implementing acts, a preliminary correlation table between the codes of the combined nomenclature, provided for in Council Regulation (EEC) No 2658/87 (2) and the entries of waste listed in Annexes III, IIIA, IIIB, IV, IVA and V to this Regulation. The Commission shall maintain that correlation table up-to–date in order to reflect changes to that nomenclature and to the entries listed in those Annexes, as well as to include any new waste-related codes of the Harmonised System Nomenclature that the World Customs Organisation may adopt.
Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 59a(2).]
[F15. Member States shall cooperate, bilaterally and multilaterally, with one another in order to facilitate the prevention and detection of illegal shipments. They shall exchange relevant information on shipments of waste, flows of waste, operators and facilities and share experience and knowledge on enforcement measures, including the risk assessment carried out pursuant to paragraph 2a of this Article, within established structures, in particular, through the network of correspondents designated in accordance with Article 54.]
6.Member States shall identify those members of their permanent staff responsible for the cooperation referred to in paragraph 5 and identify the focal point(s) for the physical checks referred to in paragraph 4. The information shall be sent to the Commission which shall distribute a compiled list to the correspondents referred to in Article 54.
7.At the request of another Member State, a Member State may take enforcement action against persons suspected of being engaged in the illegal shipment of waste who are present in that Member State.
Textual Amendments
1.Before the end of each calendar year, each Member State shall send the Commission a copy of the report for the previous calendar year which, in accordance with Article 13(3) of the Basel Convention, it has drawn up and submitted to the Secretariat of that Convention.
[F12. Before the end of each calendar year, Member States shall also draw up a report for the previous year, based on the additional reporting questionnaire in Annex IX, and shall send it to the Commission. Within a month of transmission of that report to the Commission, Member States shall also make the section of that report relating to Article 24 and Article 50(1), (2) and (2a), including Table 5 of Annex IX, publicly available, including electronically via the internet, together with any explanation that the Member States consider to be appropriate. The Commission shall compile a list of the Member States’ hyperlinks referred to in the section relating to Article 50(2) and (2a) in Annex IX and make it publicly available on its website.]
3.The reports drawn up by Member States in accordance with paragraphs 1 and 2 shall be submitted to the Commission in an electronic version.
4.The Commission shall establish every three years a report, based on these reports, on the implementation of this Regulation by the Community and its Member States.
Textual Amendments
Member States, where appropriate and necessary in liaison with the Commission, shall cooperate with other Parties to the Basel Convention and inter-State organisations, inter alia, via the exchange and/or sharing of information, the promotion of environmentally sound technologies and the development of appropriate codes of good practice.
Member States shall designate the competent authority or authorities responsible for the implementation of this Regulation. Each Member State shall designate only one single competent authority of transit.
Member States and the Commission shall each designate one or more correspondents responsible for informing or advising persons or undertakings making enquiries. The Commission correspondent shall forward to the correspondents of the Member States any questions put to him/her which concern the latter, and vice versa.
Member States may designate specific customs offices of entry into and exit from the Community for shipments of waste entering and leaving the Community. If Member States decide to designate such customs offices, no shipment of waste shall be allowed to use any other frontier crossing points within a Member State for the purposes of entering or leaving the Community.
1.Member States shall notify the Commission of designations of:
(a)competent authorities, pursuant to Article 53;
(b)correspondents, pursuant to Article 54; and,
(c)where appropriate, customs offices of entry into and exit from the Community, pursuant to Article 55.
2.In relation to those designations, Member States shall notify the Commission of the following information:
(a)name(s);
(b)postal address(es);
(c)e-mail address(es);
(d)telephone number(s);
(e)fax number(s); and
(f)languages acceptable to the competent authorities.
3.Member States shall immediately notify the Commission of any changes in this information.
4.This information as well as any changes in the information shall be submitted to the Commission in an electronic as well as a paper version if so required.
5.The Commission shall publish on its web-site lists of the designated competent authorities, correspondents and customs offices of entry into and exit from the Community, and shall update these lists as appropriate.
[F2Directive 2012/19/EU of the European Parliament and of the Council of 4 July 2012 on waste electrical and electronic equipment ( OJ L 197, 24.7.2012, p. 38 ).]
[F2Council Regulation (EEC) No 2658/87 of 23 July 1987 on the tariff and statistical nomenclature and on the Common Customs Tariff ( OJ L 256, 7.9.1987, p. 1 ).]